Request for Proposals For Auditing Services HRHA/FIN

Transcription

1 Request for Proposals For Auditing Services HRHA/FIN SUBMISSION DEADLINE: July 16, 2018 at 4:00 p.m. 1

2 I. Introduction The Hampton Redevelopment and Housing Authority, a political subdivision of the Commonwealth of Virginia, hereinafter referred to as Authority, desires to obtain auditing services from qualified independent certified public accountants to enter into a term contract to perform a financial audit for the fiscal year ended December 31, 2017, with the option to extend the agreement annually for up to four additional years as mutually agreed. Pertinent background information and a copy of the Authority s 2016 audited financial statements are attached. The Authority intends to negotiate with the top ranked firm(s) based on the factors listed in this document. Ranking will be based on an evaluation of the technical merits offered in the written proposals. The Authority may request interviews to aid in the selection but is not required to do so. II. Scope of Work A. Financial Statements The Auditor shall audit all governmental fund types of the Authority in accordance with Generally Accepted Auditing Standards, the standards for financial audits contained in Government Auditing Standards issued by the Comptroller General of the United States; the provisions of OMB Circular A- 133, Audits of State and Local Governments and Non-Profit Organizations; and Specifications for Audits of Authorities, Boards and Commissions as issued by the Auditor of Public Accounts of the Commonwealth of Virginia. The audit shall result in the rendering of the Auditor s opinion on the financial statements in accordance with generally accepted accounting principles. The Auditor s opinion shall be unqualified unless the Auditor furnishes the Authority, on a timely basis, the reason for qualifying the opinion, disclaiming an opinion, or rendering an adverse opinion. The Auditor shall also determine whether the schedule of expenditure of Federal awards is presented fairly in all material respects in relation to the auditee s financial statements taken as a whole. B. Internal Controls In connection with the audit of the financial statements, the Auditor shall consider, test, and report on internal controls in accordance with Generally Accepted Auditing Standards (GAAS), Government Auditing Standards (GAS), and OMB Circular A-133, Audits of States, Local Governments and Non- Profit Organizations. C. Compliance Auditing In connection with the audit of the financial statements, the Auditor shall perform tests and report on compliance in accordance with Government Auditing Standards, and OMB Circular A-133, Audits of States, Local Governments and Non-Profit Organizations. Further, the Auditor shall consider compliance under the regulatory provisions of the U.S. Department of Housing and Urban Development as they govern the operation of subsidized public housing programs, Section 8 Housing Assistance Programs, and other programs funded by the U.S. Department of Housing and Urban Development. D. Component Unit Status The Authority is considered a component unit of the City of Hampton for purposes of the City of Hampton s (City) Consolidated Annual Financial Report (CAFR). The Auditor shall provide the City with a copy of the Authority s audited financial statements for inclusion in the City s CAFR. The Auditor shall communicate with the City s auditors regarding the audit of the Authority in accordance with professional standards. 2

3 E. Supplemental Schedules The Auditor shall apply procedures and report on the supplementary schedules included in the general purpose financial statements, including the analysis of funding progress for pension plans, and the schedule of federal assistance. F. Audit Follow-Up The auditor shall follow-up on prior audit findings, if applicable, and perform procedures to assess the reasonableness of the summary of schedule of prior audit findings prepared by the auditee. G. Data Collection Form The auditor shall complete and sign specified sections of the data collection form. H. Audit Work Papers The auditor shall retain working papers for a minimum of three years after the date of issuance of the auditor s report to the auditee. Audit working papers shall be made available upon request to the cognizant or oversight agency for audit or its designee. Access to working papers includes the right of Federal agencies to obtain copies of working papers, as is reasonable and necessary. I. Major Programs The auditor shall determine the housing authority s major programs. J. Audit Engagement Letter The auditor shall prepare the audit engagement letter in accordance with AICPA standards. This letter will serve as the formal contract between the auditor and the auditee. K. Required Audited Statement Preparation The following separate audited financial statements are required to be prepared and issued electronically by the Auditor: 1. HHADC, Inc., an I.R.C. Sec. 501( c )(3) corporation 2. Hampton Adult Transition Center, a VHDA bond financed project 3. Hampton Redevelopment and Housing Authority general purpose financial statements L. Required Reports Based on the audit work performed, the Auditor shall include the following reports by no later than September 15, 2018: 1. An opinion on the fair presentation of the general purpose financial statements and the combining and individual enterprise fund statements in conformity with generally accepted accounting principals. 2. A report on the supplementary schedules described in Section II.E. above. 3. A report on the internal control structure based on the Auditor s consideration of the internal control structure in accordance with Government Auditing Standards. The auditor shall communicate all reportable conditions (as defined by the AICPA) found during the audit in the report on internal controls. Further, the Auditor shall identify any material weaknesses in his report. The Auditor shall report other weaknesses in internal controls not meeting the definition of a reportable condition in a separate letter to management referred to in the report on internal controls. 3

4 4. A report on the internal control structure used in administering federal assistance programs. The Auditor shall communicate all reportable conditions (as defined by the AICPA) affecting federal assistance programs in the report on internal controls. Further, the Auditor shall identify any material weaknesses in his report. The Auditor shall report other weaknesses in internal controls not meeting the definition of a reportable condition in a separate letter to management referred to in the report on internal controls. Report shall be submitted under a separate cover. 5. A report on compliance based on the audit of the general purpose financial statements performed in accordance with Government Auditing Standards. The Auditor shall communicate all instances of noncompliance that could have a material effect on the general purpose financial statements in the report on compliance. The Auditor shall report all other instances of noncompliance in a separate letter to management referred to in the report on compliance. 6. An opinion on compliance with specific requirements for major federal assistance programs. The Auditor shall communicate all instances of noncompliance with the specific requirements for major federal assistance programs in the report on compliance or in the Schedule of Findings and Questioned Costs. If matters of noncompliance are disclosed in the Schedule of Findings and Questioned Costs, the Auditor shall reference the Schedule in the report on compliance. 7. A report on compliance with the general requirements applicable to federal assistance programs. The Auditor shall communicate all instances of noncompliance with the general requirements in the report on compliance or in the Schedule of Findings and Questioned Costs. If matters of noncompliance are disclosed in the Schedule of Findings and Questioned Costs, the Auditor shall reference the Schedule in the report on compliance. 8. A report on compliance with requirements applicable to non-major federal assistance programs if the Auditor selected non-major program transactions during the audit. The Auditor shall communicate all instances of noncompliance governing non-major programs in the report on compliance or in the Schedule of Findings and Questioned Costs. If matters of noncompliance are disclosed in the Schedule of Findings and Questioned Costs, the Auditor shall reference the Schedule in the report on compliance. Report shall be submitted under a separate cover. 9. A report disclosing the status of findings and recommendations from previous audits in accordance with Government Auditing Standards. 10. A report summarizing compliance matters tested in accordance with the Uniform Financial Reporting Manual. 11. Management Discussion and Analysis (MDA) with schedules as required under GASB A data file consisting of a complete copy of the financial statements, including all reports, footnotes, and supplemental information in.rtf format shall be provided to HRHA for submission to the US Department of HUD Real Estate Assessment System ( REAC ) in advance of the required deadline for submission of audited statements to REAC. The Auditor further agrees to perform online validation of the.rtf file data as required by REAC in advance of the required deadline. 13. The Auditor shall make an immediate, written report of all irregularities and illegal acts, or indications of illegal acts of which they become aware to the Chief Financial Officer. M. Additional Services In addition to the services listed above, the selected firm may be asked to consult on auditing services. These services will be billed separately and performed on an hourly basis. III. Minimum Qualifications The following must be attached in order to be considered: 1. A current copy of license as a Certified Public Accountant in the Commonwealth of Virginia. 4

5 2. Certification that firm, and its designated agent(s), has not been debarred, suspended, or otherwise prohibited from practice. 3. Proof of insurance that firm has insurance with an A-rated carrier showing the following minimum limits: $1,000,000 general liability; $1,000,000 professional liability; $25,000 fidelity bond in favor of the Authority; and workers compensation with statutory limits of $100,000/$500,000/$100, A completed Form HUD-5369-A, Representations, Certifications, and Other Statements of Bidders. IV. Submission Format/Evaluation Criteria The proposal must be submitted in accordance with the specifications of this Request for Proposals and include all of the items listed below. The proposal shall include a Table of Contents and presented in sections as described below. No requirement and/or specification should be construed as an attempt on the part of the Authority to limit competition. An original and three copies of the proposal must be received by HRHA by July 16, Other information thought to be relevant, but not applicable to the categories below, may be provided but only as an appendix or addendum to the requested items. Please do not submit information that is of a boilerplate nature. The proposal should be concise and to the point. Sections to be included are: 1. A letter of interest on your company s letterhead referencing the RFP subject to which the company is responding. The letter should state the proposer s understanding of the work to be done as stated in the Scope of Work; a statement that any and all addenda were received; a statement indicating why the company believes itself to be best qualified to perform the engagement; and a statement that the proposal is a firm and irrevocable offer for 60 days. A representative of your company authorized to make such statement and offers must sign this letter. 2. Information regarding the following items must be included: a. History of the firm, including the number of years in business and size of firm. b. The approximate date that the audit will begin (including field work) and end. Also, the approximate date for delivery of the financial statements and Auditor s reports. c. State methodology that will be used to conduct the audit in a single year and/or multi year. d. Demonstrate the ability of your company to handle a contract of this scope. Indicate by title and names all key staff that will be assigned to this project. Biographies, including experience, of the individuals who will be assigned to the engagement, to include the relevant experience of each in governmental and housing authority audits, and continuing professional education. e. A narrative description of the firm s experience in performing services similar in scope as those being requested by the Authority in this RFP. Include the names, addresses, and telephone numbers of at least three clients who may be contacted for reference. f. A statement of the success rate of the PIH/REAC acceptance of the first audited submission. g. A copy of the report on the firm s most recent peer review. h. A statement by the prospective Auditor that: 1. The firm is independent of the Hampton Redevelopment and Housing Authority and the City of Hampton, as that term is defined in the Ethical Rules of the AICPA. 2. The firm and partner assigned to the engagement are licensed to perform the audit as provided by the applicable laws of the Commonwealth of Virginia. 3. The firm has met the peer review standards of the AICPA and Government Auditing Standards. 4. The firm will provide adequate supervision on a daily basis. 5. Staff assigned to the audit has met the continuing education requirements required by Government Auditing Standards issued by the Comptroller General of the United States. i. Status of any disciplinary action taken against the IPA, if any. 5

6 3. Fee Schedule for Year 1 and the optional 4 additional years. Hourly rate to perform additional services. 4. The following must be attached in order to be considered: A statement by the prospective Auditor that the firm is independent of the Hampton Redevelopment and Housing Authority and the City of Hampton, as that term is defined in the Ethical Rules of the AICPA. A statement by the prospective Auditor that the firm and partner assigned to the engagement are licensed to perform the audit as provided by the applicable laws of the Commonwealth of Virginia. A statement by the prospective Auditor that the firm has met the peer review standards of the AICPA and Government Auditing Standards. A statement by the prospective Auditor that the firm will provide adequate supervision on a daily basis A statement by the prospective Auditor that staff assigned to the audit has met the continuing education requirements required by Government Auditing Standards issued by the Comptroller General of the United States. List status of any disciplinary action taken against the IPA, if any. A current copy of license as a Certified Public Accountant in the Commonwealth of Virginia. Certification that firm, and its designated agent(s), has not been debarred, suspended, or otherwise prohibited from practice Proof of insurance that firm has insurance with an A-rated carrier showing the following minimum limits: $1,000,000 general liability; $1,000,000 professional liability; $25,000 fidelity bond in favor of the Authority; and workers compensation with statutory limits of $100,000/$500,000/$100,000. A completed Form HUD-5369-A, Representations, Certifications, and Other Statements of Bidders. 5. Section 3 Business Opportunity a. The work to be performed under this contract is subject to the requirements of section 3 of the Housing and Urban Development Act of 1968, as amended, 12 U.S.C. 1701u (section 3). The purpose of section 3 is to ensure that employment and other economic opportunities generated by HUD assistance or HUD-assisted projects covered by section 3, shall, to the greatest extent feasible, be directed to low- and very low-income persons, particularly persons who are recipients of HUD assistance for housing. V. Evaluation and Selection During the initial evaluation phase, proposals are technically reviewed by the Evaluation Committee who determines if all the requirements of the RFP are addressed. Once the qualified respondents have been determined, the Evaluation Committee shall rank all responsive proposals. The Committee reserves the right to interview respondents to clarify specific matters presented in the proposal, to rank respondents in accordance with the criteria stated in the proposal, and to determine the firm that is the most suitable for the delivery of this service. 6

7 After responses have been ranked, negotiations may be conducted with the respondent ranked highest. If a contract satisfactory and advantageous to the Authority cannot be negotiated with the respondent ranked first, then negotiations may be conducted with the respondent ranked second, and so on until a contract has been negotiated or all proposals are rejected. The Authority reserves the right to conduct negotiations with one or more respondents, if, in the sole opinion of the Authority, that method will provide the greatest benefit to the Housing Authority. VI. Contract Term and Specifications The term of the contract shall be one year from the date of the notice to proceed, on or about mid-july, with four (4) annual option years available. The work to be performed under the contract is subject to the requirements of Section 3 of the Housing and Urban Development Act of 1968, as amended, 12 U.S.C. 1701u (Section 3). The purpose of Section 3 is to ensure that employment and other economic opportunities generated by HUD Assistance or HUDassisted projects covered by Section 3 shall, to the greatest extent feasible, be directed to low-and very low-income persons, particularly persons who are recipients of HUD assistance for housing. The parties to the contract agree to comply with HUD s regulations in 24 C.F.R. Part 135, which implement Section 3. As evidenced by their execution of the contract, the parties to the contract certify that they are under no contractual or other impediment that would prevent them from complying with Part 135 regulations. The proposer may not transfer any portion of the contract without prior written approval from the Authority. VII. Proposal Evaluation No. Criteria Weight 1. Evidence of an understanding of the services required. 15 points 2. Evidence of firm s ability, knowledge, and experience for a contract of this scope. Evidence of key staff assigned to this project, including biographies and experience, to include the relevant experience of each in governmental and housing authority 25 points audits, and continuing professional education. Names, addresses, and telephone numbers of at least three clients who may be contacted for reference. 3. Evidence of firm s ability to meet the Authority s deadline as referenced in this RFP. 10 points 4. Proposed methodology on how firm will conduct and deliver audit. A statement of the success rate of the PIH/REAC acceptance of the first audited submission. A copy of the report on the firm s most recent peer review. 5. Fee Schedule for Year 1, the optional 4 additional years and cost for additional services. 6. Evidence of Section 3 business status as defined in the Housing and Urban Development Act of A statement by the prospective Auditor that the firm is independent of the Hampton Redevelopment and Housing Authority and the City of Hampton, as that term is defined in the Ethical Rules of the AICPA. 8. A statement by the prospective Auditor that the firm and partner assigned to the engagement are licensed to perform the audit as provided by the applicable laws of the Commonwealth of Virginia. 20 points 15 points 15 points Mandatory Mandatory 7

8 9. A statement by the prospective Auditor that the firm has met the peer review standards of the AICPA and Government Auditing Standards. 10. A statement by the prospective Auditor that the firm will provide adequate supervision on a daily basis 11. A statement by the prospective Auditor that staff assigned to the audit has met the continuing education requirements required by Government Auditing Standards issued by the Comptroller General of the United States. Mandatory Mandatory Mandatory 12. List status of any disciplinary action taken against the IPA, if any. Mandatory 13. A current copy of license as a Certified Public Accountant in the Commonwealth of Mandatory Virginia. 14. Certification that firm, and its designated agent(s), has not been debarred, suspended, Mandatory or otherwise prohibited from practice 15. Proof of insurance that firm has insurance with an A-rated carrier showing the Mandatory following minimum limits: $1,000,000 general liability; $1,000,000 professional liability; $25,000 fidelity bond in favor of the Authority; and workers compensation with statutory limits of $100,000/$500,000/$100, A completed Form HUD-5369-A, Representations, Certifications, and Other Statements of Bidders. Mandatory VIII. Receipt and Opening of Proposals The deadline for submission of proposals is by 4:00 p.m. on Monday, July 16, Submissions should be labeled Audit Proposal. Proposals, containing one original and three copies, must be mailed or hand delivered to the Authority s Main Office on the 6th floor of Rupert Sargent Building, 1 Franklin Street, Suite 603, Hampton, VA. Faxed submittals will not be accepted. Mailed or hand delivered submittals need to be addressed as follows: Proposal for Auditing Services Firm Name Contact Person Address * Proposals received prior to the due date will be securely kept, unopened. No proposal will be received after the designated time and date. Offerors will furnish an original and three (3) paper copies of the proposal. Paper copies of proposals must be sealed in an envelope which is clearly labeled as prescribed above. The Authority shall not be responsible for missed transmissions. The Authority cannot be held responsible for inadvertently opening proposals that are not properly marked. Cost Analysis for first year and the optional 4 additional years should be included in the proposal. The cost for additional services must be included on the same page as the cost analysis. Should the Authority close earlier than normal hours due to uncontrolled events such as fire, snow, ice, wind, or building evacuation, proposals will be accepted on the next business day of the Authority. At the designated time and date, the Authority will open and list the proposals for the record. This is not a public opening. The proposals will then be forwarded to the designated Evaluation Committee for review. 8

9 IX. Contact Information Questions concerning this RFP shall be directed to Nancy Burleson, Chief Financial Officer, and shall be in writing and faxed to or ed to It shall be the responsibility of the sender to verify receipt of all transmissions. HRHA shall not be responsible for missed transmissions. All questions must be submitted by July 6, 2018 and both the question(s) and answer(s) will be posted on the Authority s website at and shared with everyone the Authority knows is interested in responding to this RFP. X. Rights Reserved By the Authority The Authority reserves the right in its sole discretion to award a contract related to this RFP based upon the written proposals received by the Authority without interviews or prior discussion or negotiation with respect to those proposals. All portions of this RFP may be considered to be part of the contract and may be incorporated by reference. Any contract awarded in connection with the RFP will be subject to approvals as required by the Executive Director of the Hampton Redevelopment and Housing Authority. The Authority reserves the right, at its sole discretion, to accept or reject any and all proposals received as a result of this RFP; to waive minor irregularities; and to conduct discussions, if needed, with all responsible Respondents, in any manner necessary, to serve the best interest of the Authority. The Authority does not discriminate against faith-based organizations nor any person on the basis of race, color, sex, religion, national origin, age, familial status, or handicap. If you have any questions or concerns regarding this policy, please contact the Equal Opportunity Officer at The Authority reserves the right to request additional information from any or all respondents as necessary to clarify any information which is contained in the proposals. 9

10 Hampton Redevelopment and Housing Authority Information Overview 1. Location of Hampton Redevelopment and Housing Authority main office for mailed or hand delivered proposals: Rupert Sargent Building Telephone: (757) Franklin Street, Suite 603 Fax: (757) Hampton, Virginia Description of Enterprises a. Low Income Public Housing. Authority operates two low-income public housing projects: North Phoebus Townhouses, and Langley Village (designated elderly). A total of 246 units were available for occupancy as of December 31, Low-income public housing, for purposes of reporting to the U.S. Department of Housing and Urban Development (HUD), also includes the results of HUD grant programs, accounted for as separate funds, including, but not limited to the Capital Fund Program. b. Section 8 Housing Assistance Program. The Section 8 Program as of the end of 2017 consists of 3,194 fully converted Housing Choice Vouchers. c. Enterprises Not Receiving Federal Subsidies 1. HRHA Business Activities: Wholly owned and operated commercial and residential properties used in carrying out the Authority s activities to serve low-income residents of the City of Hampton. Includes the Authority-owned Hampton Adult Transition Center, which requires a separate audited financial statement for submission to VHDA. New construction (on infill lots) and substantial rehabilitation of single family homes in targeted neighborhoods in conjunction with City of Hampton Community Development Block Grant Program. Other activities are also entered into for fees for services rendered. d. Programs Administered Under Contract for the City of Hampton 1. Development 2. Rehabilitation Loan/Revolving Loan Fund 3. CDBG/HOME 4. NSP e. 501(c)(3) Corporation, HHADC, Inc. One component unit of HRHA is the owner of 2 syndicated tax credit limited partnerships that are in the 2 nd 15-year compliance period. New construction and substantial rehabilitation of low-tomoderate income housing are among its activities. f. Blended Component Unit. The Authority operates two mixed finance tax credit properties: Old Point Homes and Patterson Crossing. A total of 27 units and 19 units, respectively, were available for occupancy as of December 31, Personnel/Payroll Annual payroll of approximately $3,350,000 paid bi-weekly to an average of 58 full time regular employees. 4. Bank Accounts 34 bank accounts. 5. GASB 34, 45 and 68 The Authority elected early implementation of GASB 34 in its December 31, 1999 audited financial statements. The Authority elected implementation of GASB 45 in its December 31, 2008 and GASB 68 in its December 31, 2015 audited financial statements. 10

11 U.S. Department of Housing and Urban Development Office of Public and Indian Housing Representations, Certifications, and Other Statements of Bidders Public and Indian Housing Programs Previous edition is obsolete form HUD-5369-A (11/92)

12 Representations, Certifications, and Other Statements of Bidders Public and Indian Housing Programs Table of Contents Clause Page 1. Certificate of Independent Price Determination 1 2. Contingent Fee Representation and Agreement 1 3. Certification and Disclosure Regarding Payments to Influence Certain Federal Transactions 1 4. Organizational Conflicts of Interest Certification 2 5. Bidder's Certification of Eligibility 2 6. Minimum Bid Acceptance Period 2 7. Small, Minority, Women-Owned Business Concern Representation 2 8. Indian-Owned Economic Enterprise and Indian Organization Representation 2 9. Certification of Eligibility Under the Davis-Bacon Act Certification of Nonsegregated Facilities Clean Air and Water Certification Previous Participation Certificate Bidder's Signature 3 1. Certificate of Independent Price Determination (a) The bidder certifies that-- (1) The prices in this bid have been arrived at independently, without, for the purpose of restricting competition, any consultation, communication, or agreement with any other bidder or competitor relating to (i) those prices, (ii) the intention to submit a bid, or (iii) the methods or factors used to calculate the prices offered; (2) The prices in this bid have not been and will not be knowingly disclosed by the bidder, directly or indirectly, to any other bidder or competitor before bid opening (in the case of a sealed bid solicitation) or contract award (in the case of a competitive proposal solicitation) unless otherwise required by law; and (3) No attempt has been made or will be made by the bidder to induce any other concern to submit or not to submit a bid for the purpose of restricting competition. (b) Each signature on the bid is considered to be a certification by the signatory that the signatory-- (1) Is the person in the bidder's organization responsible for determining the prices being offered in this bid or proposal, and that the signatory has not participated and will not participate in any action contrary to subparagraphs (a)(l) through (a)(3) above; or (2) (i) Has been authorized, in writing, to act as agent for the following principals in certifying that those principals have not participated, and will not participate in any action contrary to subparagraphs (a)(l) through (a)(3) above. [insert full name of person(s) in the bidder's organization responsible for determining the prices offered in this bid or proposal, and the title of his or her position in the bidder's organization]; (ii) As an authorized agent, does certify that the principals named in subdivision (b)(2)(i) above have not participated, and will not participate, in any action contrary to subparagraphs (a)(1) through (a)(3) above; and (iii) As an agent, has not personally participated, and will not participate in any action contrary to subparagraphs (a)(1) through (a)(3) above. (c) If the bidder deletes or modifies subparagraph (a)2 above, the bidder must furnish with its bid a signed statement setting forth in detail the circumstances of the disclosure. [ ] [Contracting Officer check if following paragraph is applicable] (d) Non-collusive affidavit. (applicable to contracts for construction and equipment exceeding $50,000) (1) Each bidder shall execute, in the form provided by the PHA/ IHA, an affidavit to the effect that he/she has not colluded with any other person, firm or corporation in regard to any bid submitted in response to this solicitation. If the successful bidder did not submit the affidavit with his/her bid, he/she must submit it within three (3) working days of bid opening. Failure to submit the affidavit by that date may render the bid nonresponsive. No contract award will be made without a properly executed affidavit. (2) A fully executed "Non-collusive Affidavit" [ ] is, [ ] is not included with the bid. 2. Contingent Fee Representation and Agreement (a) Definitions. As used in this provision: "Bona fide employee" means a person, employed by a bidder and subject to the bidder's supervision and control as to time, place, and manner of performance, who neither exerts, nor proposes to exert improper influence to solicit or obtain contracts nor holds out as being able to obtain any contract(s) through improper influence. "Improper influence" means any influence that induces or tends to induce a PHA/IHA employee or officer to give consideration or to act regarding a PHA/IHA contract on any basis other than the merits of the matter. (b) The bidder represents and certifies as part of its bid that, except for full-time bona fide employees working solely for the bidder, the bidder: (1) [ ] has, [ ] has not employed or retained any person or company to solicit or obtain this contract; and (2) [ ] has, [ ] has not paid or agreed to pay to any person or company employed or retained to solicit or obtain this contract any commission, percentage, brokerage, or other fee contingent upon or resulting from the award of this contract. (c) If the answer to either (a)(1) or (a)(2) above is affirmative, the bidder shall make an immediate and full written disclosure to the PHA/IHA Contracting Officer. (d) Any misrepresentation by the bidder shall give the PHA/IHA the right to (1) terminate the contract; (2) at its discretion, deduct from contract payments the amount of any commission, percentage, brokerage, or other contingent fee; or (3) take other remedy pursuant to the contract. 3. Certification and Disclosure Regarding Payments to Influence Certain Federal Transactions (applicable to contracts exceeding $100,000) (a) The definitions and prohibitions contained in Section 1352 of title 31, United States Code, are hereby incorporated by reference in paragraph (b) of this certification. Previous edition is obsolete Page1 of 3 form HUD-5369-A (11/92)

13 (b) The bidder, by signing its bid, hereby certifies to the best of his or her knowledge and belief as of December 23, 1989 that: (1) No Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress on his or her behalf in connection with the awarding of a contract resulting from this solicitation; (2) If any funds other than Federal appropriated funds (including profit or fee received under a covered Federal transaction) have been paid, or will be paid, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress on his or her behalf in connection with this solicitation, the bidder shall complete and submit, with its bid, OMB standard form LLL, "Disclosure of Lobbying Activities;" and (3) He or she will include the language of this certification in all subcontracts at any tier and require that all recipients of subcontract awards in excess of $100,000 shall certify and disclose accordingly. (c) Submission of this certification and disclosure is a prerequisite for making or entering into this contract imposed by section 1352, title 31, United States Code. Any person who makes an expenditure prohibited under this provision or who fails to file or amend the disclosure form to be filed or amended by this provision, shall be subject to a civil penalty of not less than $10,000, and not more than $100,000, for each such failure. (d) Indian tribes (except those chartered by States) and Indian organizations as defined in section 4 of the Indian Self-Determination and Education Assistance Act (25 U.S.C. 450B) are exempt from the requirements of this provision. 4. Organizational Conflicts of Interest Certification The bidder certifies that to the best of its knowledge and belief and except as otherwise disclosed, he or she does not have any organizational conflict of interest which is defined as a situation in which the nature of work to be performed under this proposed contract and the bidder's organizational, financial, contractual, or other interests may, without some restriction on future activities: (a) Result in an unfair competitive advantage to the bidder; or, (b) Impair the bidder's objectivity in performing the contract work. [ ] In the absence of any actual or apparent conflict, I hereby certify that to the best of my knowledge and belief, no actual or apparent conflict of interest exists with regard to my possible performance of this procurement. 5. Bidder's Certification of Eligibility (a) By the submission of this bid, the bidder certifies that to the best of its knowledge and belief, neither it, nor any person or firm which has an interest in the bidder's firm, nor any of the bidder's subcontractors, is ineligible to: (1) Be awarded contracts by any agency of the United States Government, HUD, or the State in which this contract is to be performed; or, (2) Participate in HUD programs pursuant to 24 CFR Part 24. (b) The certification in paragraph (a) above is a material representation of fact upon which reliance was placed when making award. If it is later determined that the bidder knowingly rendered an erroneous certification, the contract may be terminated for default, and the bidder may be debarred or suspended from participation in HUD programs and other Federal contract programs. 6. Minimum Bid Acceptance Period (a) "Acceptance period," as used in this provision, means the number of calendar days available to the PHA/IHA for awarding a contract from the date specified in this solicitation for receipt of bids. (b) This provision supersedes any language pertaining to the acceptance period that may appear elsewhere in this solicitation. (c) The PHA/IHA requires a minimum acceptance period of [Contracting Officer insert time period] calendar days. (d) In the space provided immediately below, bidders may specify a longer acceptance period than the PHA's/IHA's minimum requirement. The bidder allows the following acceptance period: calendar days. (e) A bid allowing less than the PHA's/IHA's minimum acceptance period will be rejected. (f) The bidder agrees to execute all that it has undertaken to do, in compliance with its bid, if that bid is accepted in writing within (1) the acceptance period stated in paragraph (c) above or (2) any longer acceptance period stated in paragraph (d) above. 7. Small, Minority, Women-Owned Business Concern Representation The bidder represents and certifies as part of its bid/ offer that it -- (a) [ ] is, [ ] is not a small business concern. "Small business concern," as used in this provision, means a concern, including its affiliates, that is independently owned and operated, not dominant in the field of operation in which it is bidding, and qualified as a small business under the criteria and size standards in 13 CFR 121. (b) [ ] is, [ ] is not a women-owned business enterprise. "Womenowned business enterprise," as used in this provision, means a business that is at least 51 percent owned by a woman or women who are U.S. citizens and who also control and operate the business. (c) [ ] is, [ ] is not a minority business enterprise. "Minority business enterprise," as used in this provision, means a business which is at least 51 percent owned or controlled by one or more minority group members or, in the case of a publicly owned business, at least 51 percent of its voting stock is owned by one or more minority group members, and whose management and daily operations are controlled by one or more such individuals. For the purpose of this definition, minority group members are: (Check the block applicable to you) [ ] Black Americans [ ] Asian Pacific Americans [ ] Hispanic Americans [ ] Asian Indian Americans [ ] Native Americans [ ] Hasidic Jewish Americans 8. Indian-Owned Economic Enterprise and Indian Organization Representation (applicable only if this solicitation is for a contract to be performed on a project for an Indian Housing Authority) The bidder represents and certifies that it: (a) [ ] is, [ ] is not an Indian-owned economic enterprise. "Economic enterprise," as used in this provision, means any commercial, industrial, or business activity established or organized for the purpose of profit, which is at least 51 percent Indian owned. "Indian," as used in this provision, means any person who is a member of any tribe, band, group, pueblo, or community which is recognized by the Federal Government as eligible for services from the Bureau of Indian Affairs and any "Native" as defined in the Alaska Native Claims Settlement Act. (b) [ ] is, [ ] is not an Indian organization. "Indian organization," as used in this provision, means the governing body of any Indian tribe or entity established or recognized by such governing body. Indian "tribe" means any Indian tribe, band, group, pueblo, or Previous edition is obsolete Page 2 of 3 form HUD-5369-A (11/92)

14 community including Native villages and Native groups (including corporations organized by Kenai, Juneau, Sitka, and Kodiak) as defined in the Alaska Native Claims Settlement Act, which is recognized by the Federal Government as eligible for services from the Bureau of Indian Affairs. 9. Certification of Eligibility Under the Davis-Bacon Act (applicable to construction contracts exceeding $2,000) (a) By the submission of this bid, the bidder certifies that neither it nor any person or firm who has an interest in the bidder's firm is a person or firm ineligible to be awarded contracts by the United States Government by virtue of section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1). (b) No part of the contract resulting from this solicitation shall be subcontracted to any person or firm ineligible to be awarded contracts by the United States Government by virtue of section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1). (c) The penalty for making false statements is prescribed in the U. S. Criminal Code, 18 U.S.C Certification of Nonsegregated Facilities (applicable to contracts exceeding $10,000) (a) The bidder's attention is called to the clause entitled Equal Employment Opportunity of the General Conditions of the Contract for Construction. (b) "Segregated facilities," as used in this provision, means any waiting rooms, work areas, rest rooms and wash rooms, restaurants and other eating areas, time clocks, locker rooms and other storage or dressing areas, parking lots, drinking fountains, recreation or entertainment areas, transportation, and housing facilities provided for employees, that are segregated by explicit directive or are in fact segregated on the basis of race, color, religion, or national origin because of habit, local custom, or otherwise. (c) By the submission of this bid, the bidder certifies that it does not and will not maintain or provide for its employees any segregated facilities at any of its establishments, and that it does not and will not permit its employees to perform their services at any location under its control where segregated facilities are maintained. The bidder agrees that a breach of this certification is a violation of the Equal Employment Opportunity clause in the contract. (d) The bidder further agrees that (except where it has obtained identical certifications from proposed subcontractors for specific time periods) prior to entering into subcontracts which exceed $10,000 and are not exempt from the requirements of the Equal Employment Opportunity clause, it will: (1) Obtain identical certifications from the proposed subcontractors; (2) Retain the certifications in its files; and (3) Forward the following notice to the proposed subcontractors (except if the proposed subcontractors have submitted identical certifications for specific time periods): Notice to Prospective Subcontractors of Requirement for Certifications of Nonsegregated Facilities A Certification of Nonsegregated Facilities must be submitted before the award of a subcontract exceeding $10,000 which is not exempt from the provisions of the Equal Employment Opportunity clause of the prime contract. The certification may be submitted either for each subcontract or for all subcontracts during a period (i.e., quarterly, semiannually, or annually). Note: The penalty for making false statements in bids is prescribed in 18 U.S.C Clean Air and Water Certification (applicable to contracts exceeding $100,000) The bidder certifies that: (a) Any facility to be used in the performance of this contract [ ] is, [ ] is not listed on the Environmental Protection Agency List of Violating Facilities: (b) The bidder will immediately notify the PHA/IHA Contracting Officer, before award, of the receipt of any communication from the Administrator, or a designee, of the Environmental Protection Agency, indicating that any facility that the bidder proposes to use for the performance of the contract is under consideration to be listed on the EPA List of Violating Facilities; and, (c) The bidder will include a certification substantially the same as this certification, including this paragraph (c), in every nonexempt subcontract. 12. Previous Participation Certificate (applicable to construction and equipment contracts exceeding $50,000) (a) The bidder shall complete and submit with his/her bid the Form HUD-2530, "Previous Participation Certificate." If the successful bidder does not submit the certificate with his/her bid, he/she must submit it within three (3) working days of bid opening. Failure to submit the certificate by that date may render the bid nonresponsive. No contract award will be made without a properly executed certificate. (b) A fully executed "Previous Participation Certificate" [ ] is, [ ] is not included with the bid. 13. Bidder's Signature The bidder hereby certifies that the information contained in these certifications and representations is accurate, complete, and current. (Signature and Date) (Typed or Printed Name) (Title) (Company Name) (Company Address) Previous edition is obsolete Page 3 of 3 form HUD-5369-A (11/92)

15

16

17

18

19

20

21

22

23

24

25

26

27

28

29

30

31

32

33

34

35

36

37

38

39

40

41

42

43

44

45

46

47

48

49

50

51

52

53

54

55

56

57

58

59

60

61

62

63

64

65

66

67

68

69

70

71

72

73

74

75

76

77

78

79

80

81

82

83

84

85

86

87

88